In house training course on Senior Managers and Approved Persons - the Role of HR
The Training Environment For Financial Services

Senior Managers and Approved Persons - the Role of HR

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Course Outline & Objectives

This focused and concise workshop is specifically designed to help HR specialists keep up to date and refresh their understanding of the regulatory expectations and responsibilities relating to their role, particularly with regard to Approved Persons and the new requirements for Senior Managers and Certification.

This course is designed for delegates from both PRA regulated firms, who are already subject to the new SMR and Certification or SIMR requirements, and firms regulated solely by the FCA, who will face similar obligations shortly.

Attending will help you:

  • Keep up to date with the latest regulatory developments and priorities and the implications for HR
  • Examine the impact of regulatory requirements on HR activities from recruitment to CPD
  • Identify HR responsibilities in key areas of regulation such as Fitness & Propriety, Senior Management Systems and Controls, Ongoing Competence and Certification
  • Understand what the regulators expect of Senior Management Function holders and the HR processes and interventions needed to support them
  • Establish key HR risks, controls and indicators in respect of regulatory requirements

Who should attend?

Anyone responsible for key HR activities within a financial services organisation, including: Talent Management, Employee Benefits, Recruitment, Training, L&D, Organisational Development, Administration and Record Keeping.  The course is also valuable for individuals in Risk, Compliance and Audit with responsibilities for monitoring HR activities.

Training Approach

This course will combine lecture style presentations with practical examples and exercises. Delegate numbers will be limited to ensure a high quality learning environment.

Course Agenda

Topics covered may include but are not limited to:

  • Development of the FCA Rules governing People
  • Senior Management Arrangements, Systems and Controls
  • Recruitment, Fitness and Propriety
  • Approved Persons
  • Senior Managers and Certification Regime
  • Achieving, assessing and maintaining Competence
  • HR Practice, Risks and Controls
  • HR – the bigger Picture
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